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Showing 61 to 70 of 279 search results for internal audit report.
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FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Proceeds of fraud - Detecting and preventing money mules
We share the key findings from our review of payment account providers’ systems and controls against money mule activity. -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
Caroline Ramsay is a Chartered Accountant with 20 years’ experience in insurance and investment management gained during her executive career in Finance and Audit. ... In June 2015 Caroline retired from her role as Group Chief Internal Auditor, RSA -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Wholesale banks and asset management cyber multi-firm review findings
In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These -
Internal Audit Division - Information Pack [pdf]
An information pack summarising the objectives, responsibilities and methods of operation of the FCA's internal audit division. -
Mortgage Audits
Mortgage Audits is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals. -
External audit requirements for insurance intermediaries
Insurance intermediary audit requirements for firms. Read more about what you need to do. -
Client assets and coronavirus (Covid-19)
Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19). -
How we work
Find out about the FCA Strategy 2022 to 2025, including our expectations for financial services over the next 3 years and how we'll measure our performance.